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Researching Innovation and
Change Processes
AIM Capacity-BuildingWorkshop
Cardiff University
May 25, 2011
Andrew H. Van de Ven, PhDAIM Visiting International FellowCarlson School of ManagementUniversity of Minnesota, USA
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AwardingInnovation
The 2010 Innovation Award went to acollaboration between the School of
Biosciences and Q Chip - a University spin-out company which specialises in innovativedrug delivery methods.
Dr Kelly BruB, School of Biosciences (left)
pictured with PhD student Ms Claire Gibson
Stimulating InnovationCreating New BusinessCarol Vorderman explains why she's backing the University's drive for business start-up
http://www.cardiff.ac.uk/news/articles/healthy-innovation-awarded-4310.htmlhttp://www.cardiff.ac.uk/news/index.htmlhttp://www.cardiff.ac.uk/news/index.htmlhttp://www.cardiff.ac.uk/news/articles/healthy-innovation-awarded-4310.html -
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Questions
How are innovations like this invented,developed and implemented?
1. What triggers the process
2. What guides its development?3. How does it end?
Is there a pattern to the innovation journey?
How increase the odds of maneuvering this
innovation journey?
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Minnesota Innovation Research Program
Focused on the Process of Innovation
Source: Van de Ven et al, The Innovation J ourney, NY: Oxford Univ. Press, 2008, Download Chapter 1
https://netfiles.umn.edu/users/avandeve/www/Linked%20Documents/Written%20Works/Recent%20Books/IJ08C1.pdfhttps://netfiles.umn.edu/users/avandeve/www/Linked%20Documents/Written%20Works/Recent%20Books/IJ08C1.pdf -
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Common Characteristicsof the Innovation J ourney
Initiation Period
1. Gestating chance events
2. Shocks trigger innovation efforts
3. Innovation team formed & funded based on planDevelopmental Period
4. Activities proliferate
5. Setbacks and mistakes occur
6. Innovation goals and criteria change7. Innovation personnel part time and turnover
8. Leadership involved and shift roles
9. Lock-in to developmental paths & relationships
10. Building innovation infrastructure
Implementation/Termination Period
11. Linking new with old and reinvention
12. Innovations stop when implemented or money runs outSource: Van de Ven et al, The Innovation J ourney, NY: Oxford Univ. Press, 2008, Download Chapter 2.
https://netfiles.umn.edu/users/avandeve/www/Linked%20Documents/Written%20Works/Recent%20Books/IJ08C2.pdfhttps:/netfiles.umn.edu/users/avandeve/www/Linked%20Documents/Written%20Works/Recent%20Books/IJ08C2.pdfhttps://netfiles.umn.edu/users/avandeve/www/Linked%20Documents/Written%20Works/Recent%20Books/IJ08C2.pdfhttps:/netfiles.umn.edu/users/avandeve/www/Linked%20Documents/Written%20Works/Recent%20Books/IJ08C2.pdf -
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Initiating the Innovation J ourney
Research Finding: Innovations are not initiated onthe spur of the moment, by a single dramatic incident,or by a single entrepreneur. An extended gestationperiod often lasting several years, of seeminglyrandom events occur before innovations are initiated.
Many events are not intended to start an innovation.Some trigger recognition of need for change; othersawareness of technical possibilities. Some of these
events shock entrepreneurs to mobilize efforts tomobilize plans and resources for developing aninnovation.
Question:What can organizations do to increase thechance of innovation?
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Creating a Culture of Innovation at 3M
1. Vision. Declare the importance of innovation; make it part of thecompanys self-image.
2. Foresight. Find out where technologies & markets are going.Identify articulated & unarticulated needs of customers.
3. Stretch goalsto make quantum improvements. (e.g., 30% of
sales from products introduced in past 4 years).4. Empowerment. Hire good people and trust them; delegate
responsibilities, provide slack resources, & get out of the way.
5. Communications. Open, extensive exchanges according to
ground rules in forums for sharing ideas, and where networkingis each persons responsibility.
6. Rewards and recognition. Innovation is an intensely humanactivity. Emphasize recognition more than monetary rewards.
Source: William Coyne, Building a Tradition of Innovation, UK Innovation Lecture, 1996
Stated on Innovation for Dummies, Will Mitchell (Duke Univ.) offers the same advice..
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Innovation Development Period
Research Finding:Shortly after work begins:
Activities proliferate Setbacks and mistakes occur
Innovation goals and criteria change
Personnel are part time and turnover Firms get locked into spiders web of relationships
Infrastructure bottlenecks emerge
Leaders actively involved & play opposing roles
Question: What guides the innovation journey?
Processes of Learning, Leadership & Relationships
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Learning the Innovation J ourney
Actions = net monthly #events in which innovation unit continued with minus change its course ofOutcomes = net monthly events of positive minus negative otcomes from eventsPlots are three-month moving averages
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Model of Learning by Discovery &Testing
DivergentActivities
Learningby
Discovery
GoalsActionsContext
Learningby
Testing
ConvergentActivities
Characteristics:ChaoticBroad goalsTacit to Explicit
Explore Alternatives
Characteristics:Trial and errorPredictable outcomesOrderly learningStable: memorize
Goal
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Institutional Leadersets structure,
settles disputes
Criticchallengesinvestments,goals,progress
Sponsor
procures, advocates,champions
Mentorcoaches, counsels,advises
EntrepreneurManages innovation
unit/venture
Leadership Roles in Innovation Development
http://www.youtube.com/watch?feature=player_detailpage&v=2GSH87L-nyIhttp://www.youtube.com/watch?feature=player_detailpage&v=2GSH87L-nyI -
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Number ofEvents
Involved
Few
Many
Formation of
Innovation Unit
Developmental
Period
Implementation
of Innovation
Entrepreneur
Mentor/Sponsor
InstitutionalLeader
Critic
Proposition on Balance & Timingof Innovation Leadership Roles
Organizational learning & adaptability increase when leader roles areexercised as follows during the innovation development journey
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Industry Infrastructure for Innovation
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Participants are Distributed, Partisan, Embedded
Distributed: Different actors play key roles
No single actor controls any developmental path
Partisan: Actors participate from own frames
Interests of producers, regulators, investors, etc.are not the same
Solutions through partisan mutual adjustment andsocial movements
Embedded: Actors become dependent on paths theycreate.
Many opportunities for learning & escalation
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Those who run in
packs will be moresuccessful than those
who go it aloneInnovation is a collectiveachievement.
No single actor can do italone.
Knowledge distributed
in different people &places
Innovation costs exceed
proprietary benefits. The Peloton
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The crash
Stuff happens!
Falling out of line
Being ostracized
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The breakawayWhen run in a pack?
When go it alone?
First-mover
advantages/disadvantages
The technical design ofthe first-mover seldom
becomes the dominantdesign that yields the
greatest profits.
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So, How does Innovation J ourney Unfold?
Finding:The innovation journey is not sequential
and orderly, nor random; instead, it is a nonlineardynamic cycle of divergent & convergent activitiesthat repeat over time and across levels if enabling &
constraining conditions are present.Implications:
Go with the flow -- You cannot control it,but you can learn to maneuver the journey.
Enabling & constraining factors set innovation scope.
Develop ambidextrous management skills.
Multi-dimensional leadership - balance opposites
http://www.youtube.com/watch?v=1fH0O6IRxRQ&feature=relatedhttp://www.youtube.com/watch?v=1fH0O6IRxRQ&feature=related -
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Cycling the Innovation J ourney
Divergent Behavior
A branching & expanding processof exploring new directions
Creating ideas & strategies
Learning by discovery
Pluralistic leadership
Building relationships andporous networks
Creating Infrastructurefor collective advantage - Running in packs
Convergent Behavior
An integrating & narrowing processof exploiting a given direction
Implementing ideas & strategies
Learning by testing
Unitary leadership
Executing relationships inestablished networks
Operating within infrastructurefor competitive advantage
Enabling Factors Resource Investments
Unit Restructuring
Constraining Factors External rules and mandates
Internal focus and self-organizing
Source: Van de Ven et al., The Innovation Journey. New York: Oxford Univ. Press. 2008, p. 185.
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Your thoughts,please
Thank You!http://umn.edu/~avandeve The Victor
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Afternoon Workshop:
Designing Process Research
1. Clarify meanings of process Definitions of change process
2. Clarify theory of process
life cycle, teleology, dialectic, & evolution process theories
3. Adopt new vocabulary to analyze processes simple, multiple, cumulative, conjunctive & iterative progressions
4. Design research to observe processes of change
5. Discuss change/innovation research proposals
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Engaged Scholarship: A Guide for
Organizational and Social Researchby Andrew H. Van de Ven, (Oxford Univ. Press, 2007)Book Chapters
1. Engaged Scholarship in a ProfessionalSchool*
2. Philosophy of Science
3. Problem Formulation
4. Theory Building5. Process and Variance Models
6. Designing Variance Studies
7. Designing Process Studies
8. Communicating & Using ResearchKnowledge
9. Practicing Engaged Scholarship*
* Examination copy of chapter can be downloaded here
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Process Research Definitions
> Meaning of process:> A logic that explains a causal relationship
> A category of concepts or variables
> A narrative of how things change over time
> Change: an observed difference in form, quality or
state over time in an entity.> Development: the progression of change events over
the duration of an entitys existence
> Process Theory: An explanation of an observedprogression of change events in terms of generatingmechanisms that cause events to happen in the
world and the circumstances when they operate(Tsoukas, 1989).
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Definitions Derived From Change
Change an observed difference over time in an entity
Invention when the change represents a new idea Innovation The invention and implementation of a new idea.
In each definition, the change (observed difference) may vary in:
1. Time (duration, pace, momentum of key events)2. Newness (to an observer and the people involved)
3. Recombination of old changes (ideas, routines) in new ways.
4. Magnitude (from small/incremental to large/radical)
5. Complimentarity (relatedness to interdependent changes)
6. Unit of analysis (a project, series or platform of projects)
7. Level of analysis (individual, organization, industry, etc.)
8. Assessments (good, bad, advocate, resist)
http://www.youtube.com/watch?feature=player_detailpage&v=Q5QL9IHPKeQhttp://www.youtube.com/watch?v=03rluf8pWdE&feature=player_detailpagehttp://www.youtube.com/watch?v=8w10VWp95q0&feature=player_detailpagehttp://www.youtube.com/watch?v=8w10VWp95q0&feature=player_detailpagehttp://www.youtube.com/watch?v=03rluf8pWdE&feature=player_detailpagehttp://www.youtube.com/watch?feature=player_detailpage&v=Q5QL9IHPKeQ -
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Aspects ofComplex &ProgrammaticChange
Source: Mike WallaceCoping with complex andprogrammatic public service
change, 2006.
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EVOLUTION DIALECTIC
Multiple
Entities
Unit ofChange
SingleEntity
LIFE CYCLE
Pluralism (Diversity)ConfrontationConflict
TELEOLOGY
Variation Selection Retention
Thesis
AntithesisConflict Synthesis
4 (Terminate)
Stage 2(Grow)
Dissatisfaction
ImplementGoals
Search/Interact
Set/EnvisionGoals
Mode of ChangePrescribed Constructive
Population ScarcityEnvironmental SelectionCompetition
Immanent ProgramRegulationCompliant adaptation
Purposeful enactmentSocial constructionConsensus
Process Theories of Organizational Development and ChangeNote: Arrows on lines represent likely sequences among events, not causation between events.Source: A.H. Van de Ven and M.S. Poole, Explaining Development and Change in Organizations,Academy of ManagemenReview, 20, 3, p. 520
Stage 1(Startup)
Stage 3(Harvest)
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Models of Organizational Change
TeleologyPlanned Change
Life CycleRegulated Change
DialecticConflictual Change
EvolutionCompetitive Chang
Process Dissatisfaction,
search, goal setting,& implementation
prescribed sequence
of steps or stages ofdevelopment
Confrontation, conflict
& synthesis betweenopposing interests
Variation, selection &
retention amongcompeting units
Triggeri Goal, opportunity orthreat
Prefigured programregulated by nature,logic or rules
Conflict betweenopposing forces
Competition for scarceresources
Key metaphor Purposefulcooperation
Organic growth Opposition, conflict Competitive survival
Process failures Decision Biases,Lack of consensus
Group think
Resistance to changenoncompliance
Monitoring & control
Destructive conflictIrresolvable
differences
Requisite varietyLack of scarcity
Process remedies Critical thinkingRational decisionsConsensus building
Obtaining buy inInternalizingmandates
Negotiation skillsPartisan mutualadjustment
Strategies forcompetitive advantage
Example Program PlanningModel Greiners model oforganizational growth Political action modelsof change & protest Miners managerialmodel of evolution
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Approaches to Managing Change
When Breakdowns Occur
Do you fix the organization to fit yourmodel? Or
Do you change your model to fit theorganization?
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Issues Your Process Research StudyProcess Study Design
1. State your processresearch question
2. Whose viewpoint isfeatured?
3. How define process- as variable or event?
4. What process theoriesdo you examine?
5. Real-time or historicalobservations?
6. What units examinedwithin & over time?
7. Sample diversity inwhat dimensions?
8. Sample size:#of events and cases?
Measurement & Analysis1. Define your
process concepts.
2. Define indicators ofprocess concepts
3. What is an incidentor event (a datum)?
4. How tabulate andanalyze process data?
5. How develop a processTheory or narrative?
Process Research Worksheet
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Steps & Suggestions for Designing Process Research
Key Step Key Decision(s) Suggestions1. Meaning of process Category of concepts or
A developmental sequence?Process models are geared tostudying how questions
2. Theories of process Examine one or more models? Apply and compare plausiblealternative models
3. Frame of reference Whos viewpoint is featured? Observe change process from aSpecific participants viewpoint
4. Mode of inquiry Deductive, inductive or abductive? Iterate between modes of reasoning
5. Observational method Real-time or historical observations? Observe before outcomes are known6. Source of change Age, cohort or transient sources? Develop parallel, synchronic and
diachronic research design7. Sample diversity Homogeneous or heterogeneous? Compare the broadest range possible
8. Sample size Number of events and cases? Focus on number of temporalintervals and granularity of events
9. Process researchdesigns
What data analysis methods to use? Match data analysis methodsTo number of cases and events
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Discussions of Process Research Worksheets
Issues Your Process Research StudyProcess Study Design1. State your process
research question2. Whose viewpoint is
featured?3. How define process
- as variable or event?4. What process theories
do you examine?5. Real-time or historical
observations?
6. What units examinedwithin & over time?
7. Sample diversity inwhat dimensions?
8. Sample size:#of events and cases?
Measurement & Analysis
1. Define yourprocess concepts.2. Define indicators of
process concepts3. What is an incident
or event (a datum)?4. How tabulate and
analyze process data?
5. How develop a processTheory or narrative?
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Steps in Measuring & Analyzing Process Data
Key Step Key Decision(s) Suggestions1. Developing process
concepts
What concepts or issues will you
look at?
Begin with sensitizing concepts
and revise with field observations2. Defining incidents
& eventsWhat activities or incidents areindicators or what events?
Incidents are observations, eventsare unobserved constructs
3. Specifying an incident What is the qualitative datum? Develop decision rules to bracketor code observations
4. Measuring an incident What is a valid incident? Ask informants to verify incidents
5. Identifying events What strategies are available totabulate and organize field data?
Apply a mix of qualitative andquantitative data analysis methods
6. Developing process
theory or narrative
How move from surface observation
to a process theory?
Identify five characteristics of
narrative theory
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Typology of Process Research Designs
Source: Poole, et al (2000) Organizational Change and Innovation Processes: Theory andMethods for research. New York: Oxford Univ. Press.
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2. Data Entry Forms
Data Entry FormsDate:__________ Event #: ______
Event: (description of actor, action, outcome in context)
____________________________________________________________________________________Observation: _______________________________
__________________________________________
Source: ____________________________________
Keywords: __________________________________
A Sample Event Data Entry Form
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Days Event Observation Source Keywords01/01/77 House,
Academ-icians,transaction
outcome-positive
ASHA, May 1985House & Doyle in LosAngeles conduct the1st cochlear implantin the U.S. by im-planting a limited #of patients usingsingle electrode dev.
The event was pub-lished in W.F. Houseand K.Berliners,Cochelar Implants:Progress & Persp-ectives, Annals ofOtology & Rhinol.
1982, p. 1-124.
More Events
Existing Event Data File Added Columns
i pe tr c ac a op on
0 0 0 1 0 1 1 0
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Qualitative Methods for Analyzing Process Data
Click HERE for Ann Langley Presentation
> Narrative Strategy
> Template Matching
> Grounded Theorizing
> Visual Mapping> Temporal Bracketing
> Synthetic Strategy
> Quantitative Strategy
Ann LangleyHEC, Montreal
Source: Ann Langley, Strategies for theorizing fromProcess data, Academy of Management Review,vol. 24, 1999
http://www.processresearchmethods.org/tutorials.htmhttp://www.processresearchmethods.org/tutorials.htm -
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Power-Generality Tradeoffs of Methods
Power
(Accuracy)
Generality (Information Efficiency)Low
High
High
Chro
nologicallist
ofevents
Narratives,
Stories
Visualprocess
maps
Even
t
frequ
encies
Quan
titative
code
deventtime
serie
s
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Source: Van de Ven, Polley, Garud & Venkataraman, The Innovation Journey, NY: Oxford, 1999.
Example of Visual Mapping Strategy in CIP Case
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Source: R. Garud & A. Van de Ven, An Empirical Evaluation of the Internal Corporate Venturing Process,Strategic Management Journal, 13 (1992): 93-109.
Example of Temporal Bracketing Strategy in CIP Case
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Source: Van de Ven, Polley, Garud & Venkataraman, The Innovation Journey, NY: Oxford, 1999.
Example ofFrequencyPlots
of CodedEvent
Sequences
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Analyzing Quantitative Process Data
Click HERE to Listen to Kevin Dooley
> Analyzing Event
Sequence Data
> Structures of EventTime Series
> Models for examining
different structures of
time series Orderly data
Chaotic data
Random dataKevin Dooley
Arizona State University
http://www.processresearchmethods.org/tutorials.htmhttp://www.processresearchmethods.org/tutorials.htm